Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimants Case Number. 08-01202 Robert J. Goundry and Patricia A. Goundry Respondent Hearing Site: Albuquerque, New Mexico TD Ameritrade, Inc. Nature of the Dispute: Customers v. Member REPRESENTATION OF PARTIES Claimants, Robert J. Goundry and Patricia A. Goundry, hereinafter collectively referred to as "Claimants": Pro Se, Aztec, New Mexico Respondent TD Ameritrede, I

Award FINRA DIsputo Rseohillon In the miatter of the ArbHratkm Between: Claimant Case Number 07-01041 RBC Dein Itejscher Inc. ReannnriBnt Hearing SMe: Los Angeles, California Gary J. Handler Nature of the Dispute: Member vs. Associated Person REPREaEMTATIQII OF PARTIEg Claimant RBC Dain Rauscher, Inc. herslnafler referred to es "^almantT: Abe Lampart; Esq.. I.aw Offices of Abe Lampart, San Francisco, Cailfomla, Carolyn Guy, Esq. RBC Dain Rau

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-02494 John D. Gentis Names of the Respondents Hearing Site: Tampa, Florida Chad Michael Eslinger Patrick David Wallen ING America Equities, Inc. Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For John D. Gentis ("Gentis"), hereinafter referred to as "Claimant": Law Offices of Michael C

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant David L. Hargreaves Case Number: 08-00418 Name of the Respondents CUSO Financial Services, L.P. Financial Network Investment Corporation Hearing Site: Denver, Colorado Nature of the Dispute: Customer vs. Members REPRESENTATION OF PARTIES Claimant, David L. Hargreaves, hereinafter refen^d to as "Claimant": Richard B. Fosher, Esq., SimmonsCooper, LLC, Eas

Award FINRA DIsputa Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number 07-01775 Estate of Brian Bumell Elizabeth K. Burr^ll Names of the Respondents Hearing Site: Charlotte, North Carolina Southeast Investments, N.A., Inc. Frank H. Black Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For the Estate of Brian Bumell, ("Estate of Bumell") and Elizabeth K. Bumell (

Award FINRA Dispute Resolution In the Matter of tiie Arbitration Between: Names of the Claimants Case Number: 07-00998 Ed L. Gueth Sr. and Sandy L. Guetli Names of the Respondents Hearing Site: Orlando. FL Ameriprise Financial Services, Inc. Joan L. Coke Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Ed L. Gueth Sr. and Sandy L. Gueth, hereinafter collectively referred to as "Claimants", appeared

Award FINRA Dispute Resoiution In the Matter of the Artsitration Between: Names of the Claimants Case Number: 07-03133 Eugene Vincent Soden, III Deborah Marie Soden Rowe, Individually, and as Administrator of the Estate of Eugene Vincent Soden, Jr. Names of the Respondents Hearino Site: Atlanta, Georgia Scottrade, Inc. Irene Patricia Soden Name of the Third Party Respondent Irene Patricia Soden Nature of the Dispute: Non-Member vs. Membe

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 07-01504 RBC Dain Rauscher Inc. Name of the Respondeot Hearing Site: Memphis, Tennessee Joe R. Jennings Name of the Third Party Respondent RBC Capital Markets Corporation Nature of the Dispute: Member vs. Associated Person vs. Member. REPRESENTATION OF PARTIES For RBC Dain Rauscher Inc., hereinafter referred to as "Claimant": Donald S.

AWARD FINRA Dispute Resoiution In the Matter of the Arbitration Between: Names of Claimants Jeffrey Nielsen, Hidden Glade Properties, LLC, Evans Creek, LLC, and Guaranty Escrow of MN, Inc. vs. Case Number: 07-03069 Hearing Site: Minneapolis, Minnesota Names of Respondents Charles Schwab & Co., Inc. and Darin J. Beckering NATURE OF THE DISPUTE Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Jeffrey Nielsen, Hidden

Award FiNRA Dispute Resolution In the Matter of the Arbitration Between: Amy S. Gibbons (Claimant) v. A.G. Edwards & Sons, Inc. (Respondent) Case Number: 07-02523 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATiON OF PARTIES Claimant Amy S. Gibbons hereinafter referred to as "Claimant": Jonathan Sack, Esq., Sack & Sack, New York, NY. Respondent A.G. Edwards & Sons, Inc., hereinafter referred to as "R